RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
C••• M•••••• K••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Nov 2, 2021 · Spokane Valley, Wa
- D••• D••••••• • C•• independent RIAMay 15, 2015 to Apr 30, 2021 · Coeur D'Alene, Id
- E••••• J•••• national BDOct 18, 2010 to Apr 30, 2015 · Spokane Valley, Wa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 8, 2009 to Jun 18, 2010 · Lewistown, Mt
- D••• D••••••• • C•• to N••••••••• M••••• I••••••••• S•••••••••left Apr 30, 2021, registered Nov 2, 2021 (186 days) · Other
- E••••• J•••• to D••• D••••••• • C••left Apr 30, 2015, registered May 15, 2015 (15 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••• J••••left Jun 18, 2010, registered Oct 18, 2010 (122 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address